FINRA charged an independent order-execution and clearing firm, and its CEO, with aiding and abetting manipulative trading.
News & Insights
3 News Results
Members of the House Subcommittee on Capital Markets and Government-Sponsored Enterprises heard testimony on (i) a FINRA registration proposal, (ii) the money market fund rule, (iii) bond market transparency and liquidity, (iv) the Treasury trade reporting proposal, (v) the "materiality" standard, and (vi) the Public Company Accounting Oversight Board.
SEC Commissioners will publish a request for public comment on a proposed national market system plan to create a consolidated audit trail.